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Robert P. Vrooman

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CRD#: 2006281
RV

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert Powers Vrooman was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1991. Robert had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 2, 2022 - January 30, 2024

MARINER GROUP CAPITAL MARKETS, LLC

BD
CRD#: 25878
HARRISON, NY
Past

December 8, 1997 - October 28, 1998

SANTANDER INVESTMENT SECURITIES INC.

BD
CRD#: 37216
NEW YORK, NY
Past

April 17, 1996 - October 16, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

October 25, 1993 - March 22, 1996

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 1, 1991 - August 6, 1993

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/14/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/2/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/28/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/8/1999
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1990
General Securities Representative Examination

Current Firm

MG
MARINER GROUP CAPITAL MARKETS, LLC
EAST HAMPTON SECURITIES, INC. | MARINER GROUP CAPITAL MARKETS, LLC | MARINER GROUP CAPITAL MARKETS, INC. | EAST HAMPTON SECURITIES, LTD.

CRD#: 25878 / SEC#: , 8-42116

BD
Terminated by SEC on 02/24/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/04/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MIG HOLDINGS, LLCDIRECT OWNER
DRISCOLL, JENNIFER LEE SJOMANCHIEF COMPLIANCE OFFICER4254395
RUBIN, DONALD JOSEPHFINOP4453420
TURCHYN, WILLIAMPRESIDENT/GSP450442

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MARINER GROUP CAPITAL MARKETS, LLC

CRD#: 25878

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